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1717 Arch Street, Philadelphia, PA 19103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APP_PEND_IARCE | 2026-01-01 |
| SC | RA | APP_PEND_IARCE | 2026-01-01 |
| GA | RA | APPROVED | 2024-04-04 |
| NC | RA | APPROVED | 2014-11-17 |
Branch Locations
36 South County Commons Way Unit C2, South Kingstown, RI 02879 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | South Kingstown | RI | 10/2014 | 02/2024 |
| Janney Montgomery Scott Llc | South Kingstown | RI | 02/2024 | Present |
1) Caribbean Baseball Initiative Partnership; Investment Related; formed as the investment vehicle to identify and purchase affiliated Minor League Baseball Franchises for the purpose of relocating one or more to Cuba and other locations in the Caribbean region; Co-General Partner-Advisor/Consultant; date of prior approval 10/01/2014; 15 hrs/month; .50 hours/day; Offer advice to potential projects and liaison to CEBF. Offer advice on major capital expenditures. 2) Rhode Island Interscholastic Committee, Warwisk, RI; Not Investment Related; Nature: Overseas High School Sports; Start date: 10/15/1999; Title/Position: Finance Committee Member; Duties: Meet once per quarter to review budgets; Devotes 1hr/month; it is an advisory role with no voting power or oversear of investment money. 3) Bonnet LLC, Narragansett, RI; Nature: LLC for Private Residence for Estate Planning Purposes; Title/Position: Member/Manager; Devotes 1 hour/month; Not compensated.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1981-08-17 |
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